United States Securities and Exchange Commission Decisions and Reports, V. 52, October 1, 1994 to May 27, 1997U.S. Government Printing Office, 1999 - 1359 pages |
From inside the book
Results 1-3 of 62
Page 56
... HOLDING COMPANY ACT PROCEEDINGS Application by foreign holding companies for approval of acquisition of stock of exempt domestic holding company owning stock of domestic gas utility company granted , where acquisition tended toward ...
... HOLDING COMPANY ACT PROCEEDINGS Application by foreign holding companies for approval of acquisition of stock of exempt domestic holding company owning stock of domestic gas utility company granted , where acquisition tended toward ...
Page 62
... holding company's income " and be " small in size . " 27 In our view , a foreign holding company that meets these standards may qualify for a Section 3 ( a ) ( 5 ) exemption even though it controls the domes- tic utility company.28 Thus ...
... holding company's income " and be " small in size . " 27 In our view , a foreign holding company that meets these standards may qualify for a Section 3 ( a ) ( 5 ) exemption even though it controls the domes- tic utility company.28 Thus ...
Page 998
... holding company systems to engage in electric power marketing and brokering activities in wholesale markets.13 Similarly , the Commission has authorized gas registered hold- ing company systems to engage in marketing and brokering of ...
... holding company systems to engage in electric power marketing and brokering activities in wholesale markets.13 Similarly , the Commission has authorized gas registered hold- ing company systems to engage in marketing and brokering of ...
Common terms and phrases
aff'd agreement Applicants Article III asserts Association of Securities broker broker-dealer BT Securities capital claims clients Commission Chairman LEVITT common stock compliance counsel County Pools customers December decision denied disclose District Committee Druz El Paso Entergy equitable principles EWGS fact failed Fair Practice FERC firm's funds Genexus GNMA hearing interest investment adviser investors issue June law judge LEVITT and Commissioners market maker markups member firm ment Merrill Lynch million misconduct municipal securities NASD found NASD Manual CCH NASD's Rules Nasdaq National Association NYSE offering Orange County Paine Webber PaineWebber penny stock person Petrantis principles of trade procedures purchase pursuant record registered representative REGISTERED SECURITIES ASSOCIATION rejected or sustained repurchase agreements request responsible retail Rules of Fair Section Section 10(b Securities Act Securities Dealers Securities Exchange Act shares statements supervision supervisor testified tion transactions Unterbach